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Experience:
Dan Brown is an accomplished securities attorney and litigator. His practice concentrates on securities enforcement defense and litigation, white-collar criminal defense, class action civil litigation, and regulatory counseling.
Dan has represented clients across a broad spectrum of civil and criminal actions, investigations and enforcement proceedings. He has practiced before the Securities and Exchange Commission, several US Attorneys' offices, the New York Attorney General, and the NYSE and NASD (recently merged and now known as FINRA). He has also defended a variety of securities class action cases. In addition, Dan counsels regulated businesses on issues of legal and regulatory compliance regarding operations, business acquisitions, restructurings, business expansions, and new product offerings.
Dan is also proficient in electronic discovery issues through his work on multiple matters throughout his career. He recently served as the moderator for the 2007 Georgetown Advanced E-Discovery Institute's panel on E-Discovery in Regulatory Proceedings.
Prior to joining Mayer Brown LLP in 2005, Dan worked with several other leading law firms. Previously, he served in the Midwest Regional Office of the US Securities and Exchange Commission's Division of Enforcement (1997-2000), where he achieved the position of Branch Chief. During his tenure with the SEC, Dan successfully prosecuted cases in key areas of enforcement, such as accounting fraud, violations of Commission Rule 102(e), insider trading, broker/dealer supervision, market manipulation, fraudulent offerings, and misappropriations. From 1994 to 1995, Dan was Law Clerk to the Honorable James L. Latchum, United States District Court for the District of Delaware.
Notable Engagements:
Currently, Dan is representing a major participant in the market for the securitization of residential mortgages, including subprime mortgages, in an SEC inquiry.
Dan is representing a major international financial institution in connection with an SEC inquiry into valuations of subprime-derived securities, among other issues.
Dan is currently representing a former senior officer of US Foodservice in parallel criminal and SEC proceedings where the government's allegations concern inflated income and falsified company books and records.
Dan has represented numerous companies and individuals in investigations and cases brought by the New York Attorney General's office, the SEC, and FINRA in connection with market timing cases. The results have ranged from convincing the regulator to not recommend charges to settlements that were favorable to the clients.
Dan previously represented two former senior company officers in connection with federal court SEC enforcement actions stemming from the bankruptcy of a major lender to subprime borrowers for purchasers of manufactured housing, where the key issue was valuation of the residual interest-only securities kept on the company's books.
Dan has worked on numerous cases involving insider trading both during his time with the SEC and while in private practice.
While with the SEC, Dan was on the team that investigated the fraud at Mercury Finance Co., a subprime lender, that eventually resulted in civil enforcement actions and criminal actions against former senior officers of Mercury.
Education:
Chicago-Kent College of Law, Illinois Institute of Technology, JD, with high honors, 1994; Order of the Coif; Notes and Comments Editor, Chicago-Kent Law Review, University of Delaware, BA, 1991. | 